Dodd-Frank split the baby when it came to regulators overseeing swaps. The SEC would supervise security-based swaps (SBS) and the CFTC all others. That decision ...
Fixed-to-floating interest rate swaps denominated in nine additional currencies or having certain termination dates would be added to the CFTC’s clearing requirements under a new ...
Attending Harvard University offers no guarantees that you can survive in the rough and tumble world of highly leveraged futures and forex trading. Just ask ...
Only two conditions in the memorandum of understanding between the CFTC and the European Securities and Markets Authority would deny the regulators from cooperating in ...
It’s possible that by the time you read this, the NFA will have the power to fine CPOs and CTAs $200 per day when they’re ...
If at first you don’t succeed … The CFTC has released a new proposed rule on position limits for derivatives that amends its 2013 ...
Engaging in a continuous pattern of fraudulent “scheme trades” to circumvent the provisions of an incentive fee structure has landed a hedge fund manager and ...
It appears that no one’s enamored by the CFTC’s new rule offering substituted compliance for certain cross-border uncleared swaps trades but the industry will have ...
Forgot about tone at the top; this was keep compliance in the dark. The CFTC May 25 announced two settlements against Citibank and its ...
Brokers, mutual funds, futures commission merchants and commodities introducing brokers have until May 2018 to begin to ask new clients opening accounts who their beneficial ...